SEC Examinations

This is the SEC's brochure that outlines its examination program for registrants

This is an example of a real deficiency letter following a DOE exam

The letter focuses on e-communications and sheds more light onto authorities’ interest in firms’ use of new communications platforms

Examiners will use the releases. “If you ignore what’s being said, you do so at your own peril”

In a few days, the SEC will have answers from most advisers about their use of the new ad rule via several new Form ADV ...

The SEC's exams division seeks 20 new staffers, with some dedicated to examining “the growing number of registered investment advisers, including those that advise private ...

The idea of charging user fees to pay for SEC RIA exams resurfaces

The DOE also vows at least a modest return to pre-pandemic days. “We also expect to increase our on-site interactions with regulated entities while continuing ...

The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in ...

An SEC document request letter from a new exam of an investment adviser obtained by RCW reveals another sign of what will be scrutinized when ...